About BasisCode
BasisCode is a compliance management software from BasisCode Compliance that supports financial compliance for various entities. It includes BasisCode Compliance™ for RIAs, BasisCode Compliance™ for Broker Dealers, BasisCode Compliance™ for Hedge Funds & Private Fund Advisors, BasisCode Compliance™ Essentials, and BasisCode Compliance™ Personal Trading Manager so organizations can manage their compliance and risk effectively. This software offers a comprehensive suite tailored to meet the unique needs of different financial sectors, facilitating adherence to regulations. Key capabilities: compliance management risk management personal trading oversight fund advisory support regulatory reporting Best for: financial institutions that need reliable compliance solutions.
BasisCode Compliance is a comprehensive compliance and risk management platform tailored for financial services firms, consulting firms, and other related industries. It is designed to consolidate complex compliance programs into a single, fully integrated solution, eliminating the inefficiencies associated with disparate systems and manual processes. By offering a robust suite of tools, BasisCode helps firms streamline compliance oversight, reduce risks, and ensure regulatory adherence. Its primary features include personal trading management, suspicious trading detection, automated workflows, and a paperless document management system, all of which are critical for organizations operating in heavily regulated environments. One of BasisCode’s strongest features is its personal trading management functionality, which allows firms to oversee employee trading activity with pre- and post-trade analysis. The platform offers configurable rules that help firms enforce internal compliance policies while also identifying potentially risky trading behaviors. In addition, its suspicious trading detection tool leverages an advanced rules engine and integrated news and data capture, making it easier to detect and investigate possible insider trading activities.
Pros & Cons
- +Integrated compliance tools with a user-defined workflow.
- +Streamlines compliance processes with automation.
- +Paperless platform for document management.
- +Audit-ready with archived data for regulatory purposes.
- +Flexible system that integrates with existing workflows.
- −Primarily tailored for financial, consulting, and legal sectors.
- −Requires onboarding and training for full utilization.
- −Relies heavily on digital infrastructure and technology.
Features
Key features
- Testing, Certifications & Risk Assessments
- Tools for conducting compliance checks and risk evaluations.
- Gifts & Entertainment and Whistleblower Management
- Streamlines the handling of these sensitive compliance areas.
- Forms & Workflow Studio
- Enables the creation and management of digital forms.
- Employee & Document Launch Portal
- Centralized access point for relevant information.
- Personal Trading Management
- Comprehensive oversight of employee trading activities.
- Pre & Post Trade Requests and Analysis
- Tools for analyzing personal trading.
- Configurable Rules Engine
- Customizes rules for trading oversight.
- Direct Access & Employee Managed Brokerage Feeds
- Integrates with brokerage feeds.
- Suspicious Trading Detection
- Identifies potential insider trading.
Additional features
- Testing, Certifications & Risk Assessments
- Tools for conducting compliance checks and risk evaluations.
- Gifts & Entertainment and Whistleblower Management
- Streamlines the handling of these sensitive compliance areas.
- Forms & Workflow Studio
- Enables the creation and management of digital forms.
- Employee & Document Launch Portal
- Centralized access point for relevant information.
- Personal Trading Management
- Comprehensive oversight of employee trading activities.
- Pre & Post Trade Requests and Analysis
- Tools for analyzing personal trading.
- Configurable Rules Engine
- Customizes rules for trading oversight.
- Direct Access & Employee Managed Brokerage Feeds
- Integrates with brokerage feeds.
- Suspicious Trading Detection
- Identifies potential insider trading.
- Configurable Rules Engine (False+ Reduction)
- Reduces false positives in suspicious trading detection.
- Integrated Full Coverage News & Data Capture
- Supports analysis with news and data.
- Stand-Alone Suspicious Trading Detection
- Available as a separate module.
- Consultant Optimization
- Features designed for consultants to enhance service delivery.
- Document Management
- Paperless platform for capturing and archiving compliance documents.
- Reporting and Audit Trail
- Provides comprehensive reporting capabilities and a clear audit trail.
- Seamless Integration
- Integrates with existing systems.
- User Defined Workflows
- Ability to customize workflows.
- Paperless Platform
- A digital system for managing compliance.
- Flexible System
- Supports existing workflows and procedures.
- Evidence Linking
- Links evidence to procedures.
- Information Archiving
- Archives all information for regulatory audits.
- Automated Tasks and Data Gathering
- Automates compliance tasks.
- Risk Exposure and Liability Reduction
- Reduces risks.
Pricing
Countries & Languages
Interface languages
Billing currencies
No reviews yet
Be the first to drop a review
Alternatives to BasisCode
itemis ANALYZE
itemis ANALYZE is a traceability management tool designed for complex engineering projects, particularly in regulated…
EDOiQ
EDOiQ is a software solution for managing credits and incentives projects. Designed for economic development…
Treety
Treety is a compliance software platform from Treety that helps fund managers manage ESG reporting.…
About BasisCode
BasisCode is a compliance management software from BasisCode Compliance that supports financial compliance for various entities. It includes BasisCode Compliance™ for RIAs, BasisCode Compliance™ for Broker Dealers, BasisCode Compliance™ for Hedge Funds & Private Fund Advisors, BasisCode Compliance™ Essentials, and BasisCode Compliance™ Personal Trading Manager so organizations can manage their compliance and risk effectively. This software offers a comprehensive suite tailored to meet the unique needs of different financial sectors, facilitating adherence to regulations. Key capabilities: compliance management risk management personal trading oversight fund advisory support regulatory reporting Best for: financial institutions that need reliable compliance solutions.
BasisCode Details
BasisCode's In-App Market Place
Does BasisCode have an in-app market place?
Yes
How many Mini-Apps in the marketplace?
1
Mini Apps
N/A
Pricing Options
Accepted Payment Currencies
USD ($), EUR (€), GBP (£), CAD ($), AUD ($)
Pros & Cons
- Integrated compliance tools with a user-defined workflow.
- Streamlines compliance processes with automation.
- Paperless platform for document management.
- Audit-ready with archived data for regulatory purposes.
- Flexible system that integrates with existing workflows.
- Primarily tailored for financial, consulting, and legal sectors.
- Requires onboarding and training for full utilization.
- Relies heavily on digital infrastructure and technology.
BasisCode's Support Options
Email Address
info@basiscode.comBasisCode's Alternatives
itemis ANALYZE
itemis ANALYZE is a traceability management tool designed for complex engineering projects, particularly in regulated…
EDOiQ
EDOiQ is a software solution for managing credits and incentives projects. Designed for economic development…
Treety
Treety is a compliance software platform from Treety that helps fund managers manage ESG reporting.…
